Form990-PF

Department of the Treasury
Internal Revenue Service
Return of Private Foundation
or Section 4947(a)(1) Trust Treated as Private Foundation
bulletDo not enter Social Security numbers on this form as it may be made public. By law, the IRS cannot redact the information on the form.
bulletInformation about Form 990-PF and its instructions is at www.irs.gov/form990pf.
OMB No. 1545-0052
2013
Open to Public Inspection
For calendar year 2013, or tax year beginning 01-01-2013 , and ending 12-31-2013
Name of foundation
The Anna and John J Sie Foundation
 

Number and street (or P.O. box number if mail is not delivered to street address)3300 East First Avenue No 390   Room/suite
City or town, state or province, country, and ZIP or foreign postal code
Denver, CO80206
A Employer identification number

83-6058353
B Telephone number (see instructions)

(303) 468-6060
C bullet
G Check all that apply:

D 1. bullet
2. bullet
E bullet
H Check type of organization:
I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)bullet$87,677,208J Accounting method:
 
(Part I, column (d) must be on cash basis.)
F bullet
Part I Analysis of Revenue and Expenses (The total of amounts in columns (b), (c), and (d) may not necessarily equal the amounts in column (a) (see instructions).) (a) Revenue and
expenses per
books 		(b) Net investment
income 		(c) Adjusted net
income 		(d) Disbursements
for charitable
purposes
(cash basis only)
Revenue 1 Contributions, gifts, grants, etc., received (attach schedule)  
2 Check bullet
3 Interest on savings and temporary cash investments      
4 Dividends and interest from securities...... 143,304 143,304  
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 8,246,950
b Gross sales price for all assets on line 6a 14,710,717
7 Capital gain net income (from Part IV, line 2)... 11,002,977
8 Net short-term capital gain.........  
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 487,256 487,256  
12 Total. Add lines 1 through 11........ 8,877,510 11,633,537  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 54,092 120   53,972
14 Other employee salaries and wages...... 52,947 0   52,947
15 Pension plans, employee benefits....... 61,311 0   61,311
16a Legal fees (attach schedule)......... Click to see attachment 49,427 0   49,427
b Accounting fees (attach schedule)....... Click to see attachment 3,949 1,350   2,599
c Other professional fees (attach schedule).... Click to see attachment 150,625 113,750   36,875
17 Interest...............        
18 Taxes (attach schedule) (see instructions) Click to see attachment 124,378 0   0
19 Depreciation (attach schedule) and depletion...      
20 Occupancy..............        
21 Travel, conferences, and meetings....... 5,155 0   5,155
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 53,186 17,453   35,733
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 555,070 132,673   298,019
25 Contributions, gifts, grants paid........ 13,328,805 13,338,805
26 Total expenses and disbursements. Add lines 24 and 25 13,883,875 132,673   13,636,824
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -5,006,365
b Net investment income (if negative, enter -0-) 11,500,864
c Adjusted net income (if negative, enter -0-)...  
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2013)
Form 990-PF (2013)
Page 2
Part II Balance Sheets Attached schedules and amounts in the description column
should be for end-of-year amounts only. (See instructions.)		 Beginning of year End of year
(a) Book Value (b) Book Value (c) Fair Market Value
Assets 1 Cash—non-interest-bearing...............      
2 Savings and temporary cash investments.......... 7,608,212 8,795,573 8,795,573
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see instructions).....      
7 Other notes and loans receivable (attach schedule) bullet1,000,000
Less: allowance for doubtful accounts bullet0 1,000,000 1,000,000 1,000,000
8 Inventories for sale or use...............      
9 Prepaid expenses and deferred charges...........      
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)........ 21,524,146 Click to see attachment18,142,009 29,815,714
c Investments—corporate bonds (attach schedule)........      
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)........... 40,637,028 Click to see attachment37,825,439 48,064,921
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet) Click to see attachment1,000 Click to see attachment1,000 Click to see attachment1,000
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 70,770,386 65,764,021 87,677,208
Liabilities 17 Accounts payable and accrued expenses..........    
18 Grants payable...................    
19 Deferred revenue..................    
20 Loans from officers, directors, trustees, and other disqualified persons    
21 Mortgages and other notes payable (attach schedule)......    
22 Other liabilities (describe bullet)    
23 Total liabilities (add lines 17 through 22).......... 0 0
Net Assets or Fund Balances bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted....................    
25 Temporarily restricted................    
26 Permanently restricted................    
bullet
and complete lines 27 through 31.
27 Capital stock, trust principal, or current funds......... 0 0
28 Paid-in or capital surplus, or land, bldg., and equipment fund 0 0
29 Retained earnings, accumulated income, endowment, or other funds 70,770,386 65,764,021
30 Total net assets or fund balances (see page 17 of the
instructions).................... 70,770,386 65,764,021
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 70,770,386 65,764,021
Part III Analysis of Changes in Net Assets or Fund Balances
1 Total net assets or fund balances at beginning of year—Part II, column (a), line 30 (must agree
with end-of-year figure reported on prior year’s return)............... 1 70,770,386
2 Enter amount from Part I, line 27a..................... 2 -5,006,365
3 Other increases not included in line 2 (itemize) bullet 3 0
4 Add lines 1, 2, and 3.......................... 4 65,764,021
5 Decreases not included in line 2 (itemize) bullet 5 0
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 65,764,021
Form 990-PF (2013)
Form 990-PF (2013)
Page 3
Part IV
Capital Gains and Losses for Tax on Investment Income
(a) List and describe the kind(s) of property sold (e.g., real estate,
2-story brick warehouse; or common stock, 200 shs. MLC Co.) 		(b) How acquired
P—Purchase
D—Donation 		(c) Date acquired
(mo., day, yr.) 		(d) Date sold
(mo., day, yr.)
1 a Marketable Securities      
b Eton Park Overseas Fund P    
c Highside Investment Fund P    
d Convexity Capital Offshore LP P    
e Wellington Equity Research P    
Newport Asia Institutional Fund P    
Highclere Investment Fund P    
Fortress Credit Opportunities Fund P    
DirecTV D    
Liberty Media Corporation D    
(e) Gross sales price (f) Depreciation allowed
(or allowable) 		(g) Cost or other basis
plus expense of sale 		(h) Gain or (loss)
(e) plus (f) minus (g)
a       542,752
b 2,660,780   2,117,522 543,258
c 1,848,242   2,000,000 -151,758
d 1,000,000   560,740 439,260
e       1,190,567
      -23,022
      555,358
      5,407
2,343,121   613,478 1,729,643
6,858,574   687,062 6,171,512
Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l) Gains (Col. (h) gain minus
col. (k), but not less than -0-) or
Losses (from col.(h))
(i) F.M.V. as of 12/31/69 (j) Adjusted basis
as of 12/31/69 		(k) Excess of col. (i)
over col. (j), if any
a       542,752
b       543,258
c       -151,758
d       439,260
e       1,190,567
      -23,022
      555,358
      5,407
      1,729,643
      6,171,512
2 Capital gain net income or (net capital loss) Bracket If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7		 Bracket 2 11,002,977
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):
If gain, also enter in Part I, line 8, column (c) (see instructions). If (loss), enter -0-
in Part I, line 8 . . . . . . . . . . . . . . . . 		Bracket 3  
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

If section 4940(d)(2) applies, leave this part blank.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period?
If "Yes," the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the appropriate amount in each column for each year; see page 18 of the instructions before making any entries.
(a)
Base period years Calendar
year (or tax year beginning in) 		(b)
Adjusted qualifying distributions 		(c)
Net value of noncharitable-use assets 		(d)
Distribution ratio
(col. (b) divided by col. (c))
2012 7,281,001 80,825,946 0.090082
2011 6,306,074 82,185,625 0.076730
2010 7,486,884 47,714,064 0.156911
2009 3,779,245 44,978,082 0.084024
2008 4,009,879 53,651,838 0.074739
2 Total of line 1, column (d) ...................... 2 0.482486
3 Average distribution ratio for the 5-year base period—divide the total on line 2 by 5, or by
the number of years the foundation has been in existence if less than 5 years. . . 		3 0.096497
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 84,474,994
5 Multiply line 4 by line 3....................... 5 8,151,583
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 115,009
7 Add lines 5 and 6......................... 7 8,266,592
8 Enter qualifying distributions from Part XII, line 4.............. 8 13,636,824
If line 8 is equal to or greater than line 7, check the box in Part VI, line 1b, and complete that part using a 1% tax rate. See
the Part VI instructions.
Form 990-PF (2013)
Form 990-PF (2013)
Page 4
Part VI
Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948—see page 18 of the instructions)
1a Bulletand enter “N/A" on line 1. Bracket
Date of ruling or determination letter:   (attach copy of letter if necessary–see instructions)
b 1 115,009
hereBulletand enter 1% of Part I, line 27b...................
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2 0
3 Add lines 1 and 2............................ 3 115,009
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-). 4 0
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 115,009
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 71,559
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c 42,675
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 114,234
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. Click to see attachment 8  
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9 775
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10  
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet   RefundedBullet 11  
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition)?............................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$ 0(2) On foundation managers.bullet$ 0
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$ 0
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
 
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletCO
    b
    If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If "No," attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2013 or the taxable year beginning in 2013 (see instructions for Part XIV)?
    If "Yes," complete Part XIV.............................
    9
     
    No
    10
    Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names and addresses.
    10
     
    No
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. (see instructions) .............
    11
     
    No
    12
    Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
    advisory privileges? If "Yes," attach statement (see instructions).................
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbulletN/A
    14
    The books are in care ofbulletMary Beth Wallingford Telephone no.bullet (303) 468-6060
    Located atbullet3300 East First Avenue No 390DenverCO ZIP+4bullet80206
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041.........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ......bullet
    15  
    16 At any time during calendar year 2013, did the foundation have an interest in or a signature or other authority over YesNo
    a bank, securities, or other financial account in a foreign country?
    16   No
    See instructions for exceptions and filing requirements for Form TD F 90-22.1. If "Yes", enter the name of the
    foreign country bullet  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 5
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required
    File Form 4720 if any item is checked in the "Yes" column, unless an exception applies.
    Yes
    No
    1a
    During the year did the foundation (either directly or indirectly):
    (1) Engage in the sale or exchange, or leasing of property with a disqualified person?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?.........................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (5) Transfer any income or assets to a disqualified person (or make any of either available
    for the benefit or use of a disqualified person)?.................
    (6) Agree to pay money or property to a government official? (Exception. Check "No"
    if the foundation agreed to make a grant to or to employ the official for a period
    after termination of government service, if terminating within 90 days.).........
    b
    If any answer is "Yes" to 1a(1)–(6), did any of the acts fail to qualify under the exceptions described in Regulations
    section 53.4941(d)-3 or in a current notice regarding disaster assistance (see page 20 of the instructions)?...
    1b
     
    No
    .........bullet
    c
    Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts,
    that were not corrected before the first day of the tax year beginning in 2013?.............
    1c
     
    No
    2
    Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private
    operating foundation defined in section 4942(j)(3) or 4942(j)(5)):
    a
    At the end of tax year 2013, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2013?...............
    If "Yes," list the years bullet20, 20, 20, 20
    b
    Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2)
    (relating to incorrect valuation of assets) to the year’s undistributed income? (If applying section 4942(a)(2)
    to all years listed, answer "No" and attach statement—see instructions.) ..............
    2b
     
     
    c
    If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.
    bullet20, 20, 20, 20
    3a
    Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at
    any time during the year?.........................
    b
    If "Yes," did it have excess business holdings in 2013 as a result of (1) any purchase by the foundation
    or disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved
    by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3)
    the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine
    if the foundation had excess business holdings in 2013.)....................
    3b
     
     
    4a
    Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?
    4a
     
    No
    b
    Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its
    charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2013?
    4b
     
    No
    5a
    During the year did the foundation pay or incur any amount to:
    (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))?
    (2) Influence the outcome of any specific public election (see section 4955); or to carry
    on, directly or indirectly, any voter registration drive?...............
    (3) Provide a grant to an individual for travel, study, or other similar purposes?
    (4) Provide a grant to an organization other than a charitable, etc., organization described
    in section 509(a)(1), (2), or (3), or section 4940(d)(2)? (see instructions)........
    (5) Provide for any purpose other than religious, charitable, scientific, literary, or
    educational purposes, or for the prevention of cruelty to children or animals?........
    b
    If any answer is "Yes" to 5a(1)–(5), did any of the transactions fail to qualify under the exceptions described in
    Regulations section 53.4945 or in a current notice regarding disaster assistance (see instructions)? ......
    5b
     
    No
    .........bullet
    c
    If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the
    tax because it maintained expenditure responsibility for the grant?............
    If "Yes," attach the statement required by Regulations section 53.4945–5(d). Click to see attachment
    6a
    Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on
    a personal benefit contract?........................
    b
    Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract?....
    6b
     
    No
    If "Yes" to 6b, file Form 8870.
    7a
    At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction?
    b
    If yes, did the foundation receive any proceeds or have any net income attributable to the transaction? ....
    7b
     
     
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 6
    Part VIII
    Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
    and Contractors
    1 List all officers, directors, trustees, foundation managers and their compensation (see instructions).
    (a) Name and address (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation
     (If not paid, enter
    -0-)     		(d) Contributions to
    employee benefit plans
    and deferred compensation     		(e) Expense account,
    other allowances
    Anna M Sie Trustee
    5.80     		0 0 0
    3300 East First Avenue 390
    Denver,CO80206
    John J Sie Trustee
    25.60     		12,000 25,997 0
    3300 East First Avenue 390
    Denver,CO80206
    Michelle S Whitten Executive Director
    10.00     		42,092 4,968 0
    3300 East First Avenue 390
    Denver,CO80206
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    NONE
    Total number of other employees paid over $50,000...................bullet 0
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    Monticello Associates Investment advisor 93,750
    1200 17th Street 2600
    Denver,CO80202
    Total number of others receiving over $50,000 for professional services.............bullet0
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1
     
    2  
    3  
    4  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 7
    Part IX-B
    Summary of Program-Related Investments (see instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See page 24 of the instructions.
    3  
    Total. Add lines 1 through 3.........................bullet0
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see instructions.)
    1
    Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,
    purposes:
    a
    Average monthly fair market value of securities...................
    1a
     
    b
    Average of monthly cash balances.......................
    1b
     
    c
    Fair market value of all other assets (see instructions)................
    1c
     
    d
    Total (add lines 1a, b, and c).........................
    1d
     
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
     
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
     
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
     
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
     
    6
    Minimum investment return. Enter 5% of line 5..................
    6
     
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    4,223,750
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
    115,009
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    115,009
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    4,108,741
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    10,000
    5
    Add lines 3 and 4............................
    5
    4,118,741
    6
    Deduction from distributable amount (see instructions).................
    6
    0
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
    4,118,741
    Part XII
    Qualifying Distributions (see instructions)
    1
    Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
    a
    Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........
    1a
     
    b
    Program-related investments—total from Part IX-B..................
    1b
     
    2
    Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
    purposes...............................
    2
     
    3
    Amounts set aside for specific charitable projects that satisfy the:
    a
    Suitability test (prior IRS approval required)....................
    3a
     
    b
    Cash distribution test (attach the required schedule) .................
    3b
     
    4
    Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
    4
     
    5
    Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment
    income. Enter 1% of Part I, line 27b (see instructions).................
    5
     
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
     
    Note: The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for
    the section 4940(e) reduction of tax in those years.
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 8
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2012     		(c)
    2012     		(d)
    2013
    1 Distributable amount for 2013 from Part XI, line 7 4,118,741
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only....... 0
    b Total for prior years:20, 20, 20 0
    3 Excess distributions carryover, if any, to 2013:
    a From 2008.......  
    b From 2009....... 1,028,299
    c From 2010....... 5,133,802
    d From 2011....... 2,216,049
    e From 2012....... 3,383,461
    fTotal of lines 3a through e......... 11,761,611
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$ 13,636,824
    a Applied to 2012, but not more than line 2a 0
    b Applied to undistributed income of prior years
    (Election required—see instructions)......     		0
    c Treated as distributions out of corpus (Election
    required—see instructions).........     		0
    d Applied to 2013 distributable amount..... 4,118,741
    e Remaining amount distributed out of corpus 9,518,083
    5 Excess distributions carryover applied to 2013. 0 0
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 21,279,694
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		0
    c Enter the amount of prior years’ undistributed
    income for which a notice of deficiency has
    been issued, or on which the section 4942(a)
    tax has been previously assessed......     		0
    d Subtract line 6c from line 6b. Taxable amount
    —see instructions ...........     		0
    e Undistributed income for 2012. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		0
    f Undistributed income for 2013. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2014 ..........     		0
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see
    instructions) .............     		0
    8Excess distributions carryover from 2008 not
    applied on line 5 or line 7 (see instructions) ...     		0
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		21,279,694
    10 Analysis of line 9:
    a Excess from 2009.... 1,028,299
    b Excess from 2010.... 5,133,802
    c Excess from 2011.... 2,216,049
    d Excess from 2012.... 3,383,461
    e Excess from 2013.... 9,518,083
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 9
    Part XIV
    Private Operating Foundations (see instructions and Part VII-A, question 9)
    1a If the foundation has received a ruling or determination letter that it is a private operating
    foundation, and the ruling is effective for 2013, enter the date of the ruling.......bullet
     
    b Check box to indicate whether the organization is a private operating foundation described in section or
    2a Enter the lesser of the adjusted net
    income from Part I or the minimum
    investment return from Part X for each
    year listed ..........     		Tax year Prior 3 years (e) Total
    (a) 2013 (b) 2012 (c) 2011 (d) 2010
             
    b 85% of line 2a .........          
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		         
    d Amounts included in line 2c not used
    directly for active conduct of exempt activities ...........     		         
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		         
    3 Complete 3a, b, or c for the
    alternative test relied upon:
    a “Assets" alternative test—enter:
    (1) Value of all assets ......          
    (2) Value of assets qualifying
    under section 4942(j)(3)(B)(i)    		          
    b “Endowment" alternative test— enter 2/3
    of minimum investment return shown in
    Part X, line 6 for each year listed...     		         
    c “Support" alternative test—enter:
    (1) Total support other than gross
    investment income (interest,
    dividends, rents, payments
    on securities loans (section
    512(a)(5)), or royalties) ....     		         
    (2) Support from general public
    and 5 or more exempt
    organizations as provided in
    section 4942(j)(3)(B)(iii)....     		         
    (3) Largest amount of support
    from an exempt organization    		          
    (4) Gross investment income          
    Part XV
    Supplementary Information (Complete this part only if the organization had $5,000 or more in
    assets at any time during the year—see instructions.)
    1Information Regarding Foundation Managers:
    aList any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
    before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)
    Anna M Sie
    John J Sie
    bList any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
    ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number of the person to whom applications should be addressed:
    bThe form in which applications should be submitted and information and materials they should include:
    cAny submission deadlines:
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 10
    Part XV
    Supplementary Information (continued)
    3 Grants and Contributions Paid During the Year or Approved for Future Payment
    Recipient If recipient is an individual,
    show any relationship to
    any foundation manager
    or substantial contributor
    		 Foundation
    status of
    recipient     		Purpose of grant or
    contribution     		Amount
    Name and address (home or business)
    aPaid during the year
    Adam's Camp
    6767 South Spruce Street Suite 102
    Centennial,CO80112     		N/A PC Sponsorship and scholarship support for camp for children with special needs 5,000
    American Transplant Foundation
    410 17th Street Suite 2200
    Denver,CO802024402     		N/A PC General operating support 5,000
    Arc ThriftMetropolitan Assoc for RC
    12345 Alameda Pkwy Suite 111
    Lakewood,CO80228     		N/A PC General operating support 10,000
    Asian Performing Arts of Colorado Inc
    7000 E Quincy Ave B-306
    Denver,CO802372207     		N/A PC General operating support 25,000
    Cancer League of Colorado
    PO Box 5373
    Englewood,CO80155     		N/A PC General operating support 10,000
    CESASC
    1750 Fulton Ave
    Monterey Park,CA91755     		N/A PC General operating support 10,000
    Denver Foundation (Fiscal Sponsor for Challenge Denver)
    55 Madison St 8th Floor
    Denver,CO80206     		N/A PC To support programs that mobilize resources and strengthen our community 50,000
    Make-a-Wish Foundation
    7951 E Maplewood Avenue Suite 126
    Greenwood Village,CO801114769     		N/A PC General operating support 330
    Children's Hospital Colorado Foundation
    13123 E 16th Ave Box 045
    Aurora,CO80045     		N/A PC Sponsorship benefiting pediatric health care 125,000
    Children's Hospital Colorado Foundation
    13123 E 16th Ave Box 045
    Aurora,CO80045     		N/A PC Sponsorship benefiting pediatric health care 12,000
    Children's Hospital Colorado Foundation
    13123 E 16th Ave Box 045
    Aurora,CO80045     		N/A PC Sponsorship benefiting pediatric health care 170,000
    Children's Hospital Colorado Foundation
    13123 E 16th Ave Box 045
    Aurora,CO80045     		N/A PC Sponsorship benefiting pediatric health care 10,000
    Ciyota Inc for Global Livingston Institute
    4492 Burr Place
    Boulder,CO80303     		N/A PC To support international development 15,000
    Cleveland Clinic Lou Ruvo Center for Brain Trauma
    888 W Bonneville Ave
    Las Vegas,NV89106     		N/A PC To support innovative research on devastating memory disorders associated with aging 50,000
    Colorado Ballet
    1278 Lincoln St
    Denver,CO80203     		N/A PC General operating support 20,000
    Colorado Cross-Disability Coalition
    655 Broadway Suite 775
    Denver,CO80203     		N/A PC Supporting Asian American Pacific Islander cultural events in the Rocky Mountain Region 15,000
    Colorado Springs Down Syndrome Association
    PO Box 2364
    Colorado Springs,CO80901     		N/A PC Support families affected by the Black Forest Fire 2,000
    Colorado Symphony Association
    1000 14th St Unit 15
    Denver,CO802022333     		N/A PC General operating support 25,000
    Committee of 100 Inc
    677 Fifth Avenue 5th Floor
    New York,NY10022     		N/A PC To support work of the Chinese-American community in furthering US-China relations 50,000
    Committee of 100 Inc
    677 Fifth Avenue 5th Floor
    New York,NY10022     		N/A PC To support work of the Chinese-American community in furthering US-China relations 5,000
    Denver Academy
    4400 East Iliff Avenue
    Denver,CO80222     		N/A PC Assist future generations of children with learning differences who need financial aid 1,500
    Denver Adult DS Clinic
    1899 Gaylord
    Denver,CO80206     		N/A PC General operating support 10,000
    Denver Art Museum
    100 W 14th Ave Parkway
    Denver,CO802042788     		N/A PC General operating support 10,000
    Denver Art Museum
    100 W 14th Ave Parkway
    Denver,CO802042788     		N/A PC General operating support 100,000
    Denver Biennial of the Americas Corp
    1400 16th St 6th Floor
    Denver,CO80202     		N/A PC To support the economics of early education and brain development workshop 50,000
    Denver Botanic Gardens
    909 York Street
    Denver,CO802063799     		N/A PC General operating support 10,000
    Denver Film Society
    1510 York St
    Denver,CO80206     		N/A PC Support the Starz Denver Film Festival 20,000
    Denver Foundation
    55 Madison St 8th Floor
    Denver,CO80206     		N/A PC To support programs that mobilize resources and strengthen our community 10,000
    Denver Options Inc
    9900 East Iliff Avenue
    Denver,CO80231     		N/A PC Responding to the needs of individuals with developmental and intellectual disabilities 5,000
    Denver School of Science and Technology
    3401 Quebec St Ste 7200
    Denver,CO80207     		N/A PC Support the 2013 Slice of Pi event benefitting the education for students with special needs 25,000
    Denver School of Science and Technology
    3401 Quebec St Ste 7200
    Denver,CO80207     		N/A PC Support the Malone Matching Grant event benefitting the education for students with special needs 250,000
    Down Syndrome Affiliates in Action
    1675 Broadway Suite 2600
    Denver,CO80202     		N/A PC Support of DSAIA's conference 10,000
    Friends of the Haven
    P O Box 102375
    Denver,CO80250     		N/A PC General operating support 5,000
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 10,000
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 10,000
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 225,000
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 600,000
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 50,000
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 25,000
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 11,165
    Global Down Syndrome Foundation
    3300 E 1st Avenue Suite 390
    Denver,CO80206     		N/A PC General operating support 597,881
    Governor's Residence Preservation Fund
    400 East 8th Avenue
    Denver,CO80203     		N/A PC Preservation of the century old Boettcher Mansion 25,000
    Hospice of Metro Denver
    501 s Cherry St Suite 700
    Denver,CO80246     		N/A PC General operating support 5,000
    Hyde Park Foundation-Diamond in the Rough
    3000 East 1st Ave Suite 243
    Denver,CO80206     		N/A PF For programs that deal with at-risk youth in the community and wellness for children 10,000
    I CON Foundation
    3600 S Beeler St Suite 100
    Denver,CO80237     		N/A PC General operating support 5,500
    John Lynch Foundation
    P O Box 172247
    Tampa,FL33672     		N/A PC General operating support 5,000
    John Lynch Foundation
    P O Box 172247
    Tampa,FL33672     		N/A PC General operating support 10,000
    Judi's House
    1741 Gaylord St
    Denver,CO80206     		N/A PC General operating support 15,000
    Keshet of the Rockies
    PO Box 200726
    Denver,CO80220     		N/A PC Helping Jewish Day schools and teachers adapt curriculum to meet special challenges 10,000
    Louis August Jonas Foundation Inc
    152 Madison Ave Suite 2400
    Denver,CO80206     		N/A PC Funding to support Camp of the Rising Sun 10,000
    Make-a-Wish Foundation - Colorado Chapter
    7951 E Maplewood Avenue Suite 126
    Greenwood Village,CO801114769     		N/A PC General operating support 20,000
    Mile High Montessori Early Learning Cntrs
    1780 Marion St
    Denver,CO80218     		N/A PC General operating support 5,000
    Mizel Museum
    400 South Kearney Street
    Denver,CO802241238     		N/A PC General operating support 25,000
    My Lifelineorg Cancer Foundation
    55 Madison St Suite 750
    Denver,CO80206     		N/A PC To support cancer patients and caregivers 5,000
    National Down Syndrome Congress
    1370 Center Drive Suite 102
    Atlanta,GA30338     		N/A PC General operating support 40,000
    Parent Education and Assistance for Kids PEAK
    6055 Lehman Dr Suite 101
    Colorado Springs,CO809183468     		N/A PC General operating support 5,000
    Parent Project for Muscular Dystrophy
    401 Hackensack Ave 9th Floor
    Hackensack,NJ70601     		N/A PC General operating support 10,000
    Rocky Mountain Children's Law Center
    A1325 S Colorado Blvd Ste 701
    Denver,CO802223326     		N/A PC Provide legal aid for abused children 10,000
    Rocky Mountain Down Syndrome Association
    3515 S Tamarac Dr Suite 320
    Denver,CO802371434     		N/A PC General operating support 5,000
    Rocky Mountain Down Syndrome Association
    3515 S Tamarac Dr Suite 320
    Denver,CO802371434     		N/A PC To support children and families with Down Syndrome 10,000
    Schwab Charitable Fund
    211 Main St
    San Francisco,CA941051905     		N/A PC To support McCaffrey Ventures Philanthropic Charities 14,000
    Sewall Child Development Center Inc
    1360 Vine Street
    Denver,CO80206     		N/A PC To sponsor programs dedicated to helping children with special needs 2,500
    Special Olympics Inc
    1133 19th St NW Suite 1200
    Washington,DC200363604     		N/A PC General operating support 10,000
    Stanley British Primary School
    350 Quebec Street
    Denver,CO802306809     		N/A PC To support the Inclusion School Study & Slam Dunk for scholorships program 6,000
    Stanley British Primary School
    350 Quebec Street
    Denver,CO802306809     		N/A PC To support the Inclusion School Study benefiting children's education & 2013 Teacher support 40,000
    Stanley British Primary School
    350 Quebec Street
    Denver,CO802306809     		N/A PC To support the Inclusion School Study benefiting children's education & 2013 Annual Campaign 19,000
    The 1990 Institute
    P O Box 1681
    Burlingame,CA94011     		N/A PC China's Green Student Forum which promotes solidarity of the youth to save China's environment 5,000
    The Adoption Exchange
    14232 E Evans Avenue
    Aurora,CO80014     		N/A PC General operating support 25,000
    The Cable Center
    2000 Buchtel Blvd
    Denver,CO80210     		N/A PC General operating support 10,000
    The Joshua School
    2303 E Dartmouth Avenue
    Englewood,CO80113     		N/A PC General operating support 10,000
    The Rise School of Denver
    4949 East Eastman Avenue
    Denver,CO80222     		N/A PC General operating support 5,000
    Third Way Center
    P O Box 61385
    Denver,CO80206     		N/A PC General operating support 10,000
    Univ Denver - Fisher Early Learning Cntr
    2490 S Gaylord Street
    Denver,CO80206     		N/A PC To Assist Student Population w/Special Needs 5,000
    Univ of Colorado - The Regents of the
    Campus Box 575 3100 Marine St 6th F
    Boulder,CO803090575     		N/A PC To support the Barbara Davis Center Playroom at the University of Colorado Anschutz Medical Campus 2,000
    Univ of Colorado-Linda Crnic Inst for DS
    Box A-020 4200 East Ninth Avenue
    Denver,CO80262     		N/A PC General operating support 25,000
    University of Colorado Foundation
    4740 Walnut St
    Boulder,CO803012538     		N/A PC LCI Flexible Endowment Research Fund to support basic science research in Down Syndrome 400,000
    University of Colorado Foundation
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Linda Crnic Institute Flexible Endowment Research Fund 500,000
    University of Colorado Foundation
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Linda Crnic Institute for Down Sydrome Operating Fund 75,000
    University of Colorado Foundation
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Linda Crnic Institute for Down Syndrome Operating Fund 500,000
    University of Colorado Foundation
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Linda Crnic Institute for Down Syndrome Operating Fund 59,606
    University of Colorado Foundation - CIMB
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Quasi Endowment Fund for the Biofrontiers Institute 1,000,000
    University of Colorado Foundation Boulder
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Flexible Endowment Research Fund for the Linda Crnic Institute 4,000,000
    University of Colorado Foundation Boulder
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Daniel and Boyce Sher Dinstinguished Musicians Scholorship 500,000
    University of Colorado Foundation Boulder
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Linda Crnic Institute for Down Syndrome Operating Fund 500,000
    University of Denver - CEMMP
    2490 S Gaylord Street
    Denver,CO80206     		N/A PC Chinese Executive Management Program Fund to support ASCEND 4,323
    University of Denver - Korbel
    PO Box 101884
    Denver,CO80208     		N/A PC Joseph Korbel School of Intl. Studies to support ASCEND 50,000
    University of Denver -Sie Cheou-Kang
    2199 S University Blvd
    Denver,CO80208     		N/A PC Sie Cheou-Kang Center Chair Fund to support ASCEND 1,100,000
    University of Denver -Josef Korbel School of Int'l Studies
    2199 S University Blvd
    Denver,CO80208     		N/A PC Sie Complex Capital Campaign Fund to support ASCEND 1,500,000
    Volunteers of America
    2660 Larimer Street
    Denver,CO80205     		N/A PC Western Fantasy 2013 Sponsorship 25,000
    Wings Over the Rockies Air & Space Museum
    7711 E Academy Blvd
    Denver,CO80230     		N/A PC General operating support 5,000
    Woodrow Wilson Int'l Center for Scholars
    1300 Pennysylvania AveNW
    Washington,DC200043002     		N/A PC Woodrow Wilson Int'l Center Scholors Awards Dinner 51,000
    Total .................................bullet 3a 13,338,805
    bApproved for future payment
    Denver Art Museum
    100 W 14th Ave Parkway
    Denver,CO802042788     		N/A pc General operating support 300,000
    Denver Botanic Gardens
    909 York Street
    Denver,CO802063799     		N/A PC General operating support 10,000
    Denver Film Society
    1510 York St
    Denver,CO80206     		N/A PC Signage for Sie Film Center 250,000
    Denver School of Science and Technology
    3401 Quebec St Ste 7200
    Denver,CO80207     		N/A PC General operating support 500,000
    Governor's Residence Preservation Fund
    400 East 8th Avenue
    Denver,CO80203     		N/A PC General operating support 25,000
    Red Rocks Church
    18301 W Colfax Ave
    Golden,CO80401     		N/A PC General operating support 25,000
    University of Colorado Foundation - BioFrontiers
    4740 Walnut St
    Boulder,CO803012538     		N/A PC Matching grant 1,000,000
    University of Colorado Foundation
    4740 Walnut St
    Boulder,CO803012538     		N/A PC LCI Funding of Annual Operating Deficit 6,613,555
    Children's Hospital Colorado Foundation
    13123 E 16th Ave Box 045
    Aurora,CO80045     		N/A PC Sie Center annual support 510,000
    University of Colorado - College of Music
    Campus Box 575 3100 Marine St 6th F
    Boulder,CO803090575     		N/A PC Dan Sher Endowment 1,500,000
    University of Denver
    PO Box 101884
    Denver,CO80208     		N/A PC Sie Complex at Korbel School 15,500,000
    University of Denver
    2199 S University Blvd
    Denver,CO80208     		N/A PC Sie Cheou-Kang Center Chair 1,100,000
    Total .................................bullet 3b 27,333,555
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 11
    Part XVI-A
    Analysis of Income-Producing Activities
    Enter gross amounts unless otherwise indicated. Unrelated business income Excluded by section 512, 513, or 514 (e)
    Related or exempt
    function income
    (See instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3
    Interest on savings and temporary cash investments ............     		         
    4 Dividends and interest from securities....     14 143,304  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6
    Net rental income or (loss) from personal property .............     		         
    7 Other investment income.....     14 487,256  
    8
    Gain or (loss) from sales of assets other than inventory .............     		    18 8,246,950  
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory..          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e).. 0 8,877,510 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    138,877,510
    (See worksheet in line 13 instructions to verify calculations.)
    Part XVI-B
    Relationship of Activities to the Accomplishment of Exempt Purposes
    Line No.
    DownArrow     		Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
    the accomplishment of the foundation’s exempt purposes (other than by providing funds for such purposes). (See
    instructions.)
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 12
    Part XVII
    Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations
    1
    Did the organization directly or indirectly engage in any of the following with any other organization described in section 501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political
    Yes
    No
    organizations?
    a
    Transfers from the reporting foundation to a noncharitable exempt organization of:
    (1) Cash...................................
    1a(1)
     
    No
    (2) Other assets.................................
    1a(2)
     
    No
    b
    Other transactions:
    (1) Sales of assets to a noncharitable exempt organization....................
    1b(1)
     
    No
    (2) Purchases of assets from a noncharitable exempt organization..................
    1b(2)
     
    No
    (3) Rental of facilities, equipment, or other assets.......................
    1b(3)
     
    No
    (4) Reimbursement arrangements...........................
    1b(4)
     
    No
    (5) Loans or loan guarantees.............................
    1b(5)
     
    No
    (6) Performance of services or membership or fundraising solicitations................
    1b(6)
     
    No
    c
    Sharing of facilities, equipment, mailing lists, other assets, or paid employees..............
    1c
     
    No
    d
    If the answer to any of the above is "Yes," complete the following schedule. Column (b) should always show the fair market value
    of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value
    in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received.
    (a) Line No. (b) Amount involved (c) Name of noncharitable exempt organization (d) Description of transfers, transactions, and sharing arrangements
    2a
    Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations
    described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527?...........
    b
    If "Yes," complete the following schedule.
    (a) Name of organization (b) Type of organization (c) Description of relationship
    Sign Here
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    Form 990-PF (2013)
    Additional Data


    Software ID:  
    Software Version:  


    Form 990PF - Special Condition Description:
    Special Condition Description

    TY 2013 AccountingFeesSchedule
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Kundinger, Corder & Engle, P.C. 2,700 1,350   1,350
    Nonprofit Financial Solutions, P.C. 1,249 0   1,249

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    TY 2013 ExpenditureResponsibilityStmt
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Grantee's Name Grantee's Address Grant Date Grant Amount Grant Purpose Amount Expended By Grantee Any Diversion By Grantee? Dates of Reports By Grantee Date of Verification Results of Verification
    Hyde Park Foundation - Diamond in the Rough
          		3300 East 1st Ave Ste 243
    Denver,CO80206     		2013-07-09 10,000 To support porgrams that deal with at-risk youth in the community and children's wellness. 10,000 The Foundation is not aware of a diversion of funds by the grantee.      

    TY 2013 InvestmentsCorpStockSchedule
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Name of Stock End of Year Book Value End of Year Fair Market Value
    Longleaf Small Cap Fund 3,757,523 4,121,587
    Dodge & Cox International Equity Fund 7,548,095 8,297,469
    DirecTV 1,509,301 2,629,805
    Liberty Media Corporation 4,381,765 11,220,450
    STRZA 945,325 3,546,403

    TY 2013 InvestmentsOtherSchedule2
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    Wellington Trust Company, CTF Research Equity Fund AT COST 11,399,182 11,773,587
    Newport Asia Institutional Fund AT COST 3,167,107 3,934,615
    Highclere Investment Fund AT COST 3,801,970 4,379,617
    ICAP Offshore Absolute Return Fund AT COST 2,029,200 3,288,704
    Viking Global Equities AT COST 2,000,000 4,482,264
    Maverick Fund LDC AT COST 2,000,000 2,249,937
    Highfields Capital AT COST 2,000,000 3,158,453
    Indus Structured Finance AT COST 557,779 292,152
    Fortress Credit Opportunities Fund AT COST 950,497 1,238,387
    CamCap Energy Offshore Fund AT COST 4,500,000 4,467,994
    Convexity Capital Offshore LP AT COST 4,094,563 7,048,724
    Sowood Alpha Fund AT COST 74,511 6,970
    Eaton Park Overseas Fund AT COST 1,250,630 1,743,517

    TY 2013 LegalFeesSchedule
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Brownstein Hyatt Farber Schreck, LLP 49,427 0   49,427


    TY 2013 OtherAssetsSchedule
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    Public service videos 1,000 1,000 1,000


    TY 2013 OtherExpensesSchedule
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Office supplies 9,722 0   9,722
    Telephone 9,709 0   9,709
    Postage 142 0   142
    Payroll processing fee 2,319 0   2,319
    Subscriptions 571 0   571
    Public relations and promotion 13,219 0   13,219
    Bank service charges 51 0   51
    Investment expense 17,453 17,453   0


    TY 2013 OtherIncomeSchedule2
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    Wellington Equity Research 225,470 225,470 225,470
    Newport Asia Institutional Fund 35,472 35,472 35,472
    Highclere Investment Fund 152,765 152,765 152,765
    Fortress Credit Opportunities Fund 73,549 73,549 73,549


    TY 2013 OtherProfessionalFeesSchedule
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    E&E Communications 1,775 0   1,775
    Paul Comstock Partners 20,000 20,000   0
    Monticello Associates 93,750 93,750   0
    Dennis McGuire 8,700 0   8,700
    Raissa Shafer 11,900 0   11,900
    Marilyn Spinner 10,000 0   10,000
    Kelly Westgard 4,500 0   4,500


    TY 2013 TaxesSchedule
    Name:
    The Anna and John J Sie Foundation
    EIN: 83-6058353
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    2012 excise tax payment, net of refund of $2,122 122,878 0   0
    Tax paid on 2012 Form 990-T 1,500 0   0